DFX Intelligence

N••••• K••••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)12 years in industry

N••••• K••••••••

Advisor at M•••••• L••••• P•••••• F••••• • S•••• I•••••••••

••• Locked

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:bf27b26a-b20a-7f01-6647-811a1559675f

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:21 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 3
On other graphs: 0
Observed: Sep 28, 2017 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
Current firm class: wirehousederived
Book size: not public••• Locked
Industry start: May 1, 2014earliest registration or exam on IAPD
Years in industry: 12derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	Wirehouse	Aug 8, 2024	n/a	yes	Fremont, CA\|NAPA, CA\|San Jose, CA\|HONOLULU, HI\|HILO, HI\|SAN JOSE, CA\|KAILUA KONA, HI	Current employment
U•• F•••••••• S••••••• I•••	Wirehouse	Nov 7, 2023	Aug 1, 2024	no	Palo Alto, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
U•• F•••••••• S••••••• I•••	M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	Aug 1, 2024	Aug 8, 2024	7	Firm change	Wirehouse to wirehouse
J••• M••••• S••••••••• L••	U•• F•••••••• S••••••• I•••	Jul 5, 2023	Nov 7, 2023

Team moves

••• Locked

Team	Left	Joined	From	Kind
149777:79:CA:2022-09-13	Sep 21, 2022	Sep 28, 2022	MENLO PARK, CA	Firm change
19616:8174:CA:2018-02-02	Feb 2, 2018	Jan 30, 2018	SAN JOSE, CA	Firm change

Relationships

Registered with (5)

→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: current employment
Aug 8, 2024 to presentfactForm ADV
→ U•• F•••••••• S••••••• I•••Registered adviserregistration: previous registration
Nov 7, 2023 to Aug 1, 2024factForm ADV
→ J••• M••••• S••••••••• L••Registered adviserregistration: previous registration
Sep 28, 2022 to Jul 5, 2023factForm ADV
→ M••••• S••••••

Dated events

Occurred
Aug 1, 2024
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Jul 5, 2023
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Sep 21, 2022
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:bf27b26a-b20a-7f01-6647-811a1559675f
First observed: Sep 28, 2017
Last observed: Sep 15, 2026 8 days ago
Source families: Federal regulator filings
1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.